ANUSHRI PATEL

1. Audit of Depository Participant:

• Conducting the Concurrent & Internal Audit as per regulatory requirements of SEBI, CDSL, NSDL and PMLA rules and regulations.
• Preparing audit checklist, verification areas and planning for audit schedules for effective audit covering areas as specified by SEBI, PMLA, Depository, KRA and CKYC regulation.
• Conducting process review of broking companies which involves a comprehensive review of an organization’s adherence to regulatory guidelines, risk management procedure i.e Manual and automated, IT and back office.
• Conducting Cyber Security and Cyber Resilience audit of Depository Participants as per SEBI guidelines
• Clients handled – Aditya Birla Money Limited, Groww (Next Billion Technology), Reliance Securities Limited, Jainam Shares Consultant, Profit mart Securities to name a few.

2. Internal Audit of Stock Brokers:

• Conducting half yearly internal audit to ensure broking entity is in adherence to the rules, regulations and latest circulars of SEBI & Exchanges.
• Conducted detailed technical and analytical review of Stock Brokers with respect to their Compliance Activity.
• Clients handled: Aditya Birla Money Limited, Groww (Next Billion Technology), Reliance Securities Limited, Dolat Capital Market Pvt Ltd, Spark Capital India Ltd , Vadodara Stock Exchange Limited, Monarch Networth Capital Limited Pune E-Stock Broking Ltd etc.

3. Audit of Housing Finance Loan:

• Scrutinizing the process of loaning to borrowers, sanction terms, repayment schedule, documentation, authorization for a loan etc. are within the policies defined by the organization.
• Client handled: India Infoline Finance Limited (IIFL)

4. FPI Assignment:

• Maintenance of client onboarding documents and registration in KRA’s for a leading Stock Broking Company as per SEBI (Foreign Portfolio Investors) Regulation, differentiating as per CAT 1, 2 & 3, now only CAT 1 & 2 as per new SEBI (Foreign Portfolio Investors) Regulations, 2019.
• Trained, coached and mentored staff to support smooth adoption of new circulars and regulation.
• Client handled: Jefferies (India) Private Limited.

5. Audit of Branch and Authorized Person of Stock Brokers:

• Due diligence of Authorized persons registered with Exchanges and SEBI for conducting dealings in securities market partnering with Stock Brokers.
• Branch audit of stock brokers ensuring various compliances on dealing terminals and maintenance of Branch according to regulation by SEBI for Stock Brokers.
• Clients handled: Reliance Securities, Aditya Birla Money Limited & Edelweiss Broking Limited.

6. Handling of Depository, Exchange & SEBI inspection:

• Handling and coordination with Depository, Exchanges and SEBI for data requirement for Inspection.
• Drafting and preparation of Pre-Inspection Questionnaire as requested by Regulators and pre-verification of inspection data as requested by regulator ensuring correct data is submitted to the inspecting officer.